Job Description

The Role

The APAC Compliance Specialist plays an integral part in supporting Wells Fargo's ability to manage and oversee regulatory compliance risk in the region.

Regulatory inventory

• Being the subject matter expert of the regulatory inventory system and provide supports to APAC team members upon request.
• Assist with the maintenance of regulatory sources and regulatory requirements applicable to APAC within the regulatory inventory system.
• Lead / coordinate for APAC Compliance on any initiatives related to the existing regulatory inventory system.
• Support regulatory change management within APAC Compliance when necessary.

Compliance Monitoring Activities (MA)

• Assist in and facilitate the compliance monitoring activities and related initiatives in APAC.
• Coordinate with CIB Compliance and APAC Compliance Officers on the maintenance of APAC MAs and ensure MA results are submitted in the Bank's dedicated system on time and at the quality as stated in the Compliance Monitoring Activity Desktop Procedures.
• Support with early identification of any necessary MA and creation (including socialization with relevant stakeholders) of MA in the Bank's dedicated system.
• Prepare the necessary management information / management reports on the MAs and their results.

Compliance projects / initiative supports

• Coordinate and support the oversight of the implementation of assigned initiatives / projects.
• Identify the necessary tasks required and determine / propose appropriate timeline and milestones.
• Determine intersections with other relevant risk and control related initiatives / projects, liaising with other risk coverage teams as necessary.
• Contribute to the development of a model that ensures ongoing sustainability of implemented deliverables.
• Provide regular updates to stakeholders through management reporting and address any request for information from project teams and management, when required.
• The candidate is also required to provide other ad-hoc support to APAC Compliance management as directed.

Minimum Qualifications

• Relevant experience, preferably 3 years + Compliance or Legal experience in a global financial institution, a bank, and/or a broker dealer. Professional legal/accounting/finance qualifications highly regarded.
• Strong communication skills, both written and verbal.
• Strong technology skills, experience in Microsoft SharePoint and Microsoft Visio highly regarded.
• Ability to quickly learn business processes, including Compliance policies and procedures.
• High degree of initiative and strong ability to meet key responsibilities with limited direction and oversight.
• Strong relationship building, and collaboration skills, with proven experience working with different stakeholders.
• Strong interpersonal skills and ability to deal effectively with team members at all levels.
• The ability to work unsupervised and meet deadlines.
• Strong organizational and time management skills, with the ability to manage multiple responsibilities and tasks simultaneously.
• Reliability, conscientiousness, and ability to produce work of a high quality.

We Value Diversity

At Wells Fargo, we believe in diversity, equity and inclusion in the workplace; accordingly, we welcome applications for employment from all qualified candidates, regardless of race, color, gender, national origin, religion, age, sexual orientation, gender identity, gender expression, genetic information, individuals with disabilities, pregnancy, marital status, status as a protected veteran or any other status protected by applicable law.

Employees support our focus on building strong customer relationships balanced with a strong risk mitigating and compliance-driven culture which firmly establishes those disciplines as critical to the success of our customers and company. They are accountable for execution of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance), which includes effectively following and adhering to applicable Wells Fargo policies and procedures, appropriately fulfilling risk and compliance obligations, timely and effective escalation and remediation of issues, and making sound risk decisions. There is emphasis on proactive monitoring, governance, risk identification and escalation, as well as making sound risk decisions commensurate with the business unit's risk appetite and all risk and compliance program requirements.

Candidates applying to job openings posted in US: All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran.

Candidates applying to job openings posted in Canada: Applications for employment are encouraged from all qualified candidates, including women, persons with disabilities, aboriginal peoples and visible minorities. Accommodation for applicants with disabilities is available upon request in connection with the recruitment process.